2019-2021 Statement of Strategy
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Statement of Strategy 2019-2021
Charities Regulator Statement of Strategy 2019 – 2021 1
Table of Contents
1 Introduction 2
2 Contextual Overview 4
3 Vision, Mission and Values 7
4 Strategic Priorities and Objectives 9
4.1 SP 1: Strengthen Public Trust & Confidence in Charities 10
4.2 SP 2: Provide Proportionate Risk-Based Regulation & Protection 11
4.3 SP 3: Promote Compliance & Enhance Engagement 12
4.4 SP 4: Enhance Operational Efficiency & Service Delivery 13
Appendix: 14
Part 1 : Authority 14
Part 2 : Performance and Resource Planning Committee 142 Statement of Strategy 2019 – 2021 Charities Regulator
1 Introduction
Chairperson’s Introduction
The Charities Regulatory Authority (“Charities Regulator”) is
responsible for the registration and regulation of all charities
that carry out activities in Ireland.
It was established in October 2014 to regulate Ireland’s charities in accordance with
the Charities Act 2009. Ireland’s charities play a vital role in our society and provide
public benefit to communities in Ireland and across the world. Having the trust
Patrick Hopkins and confidence of the public is essential to charities, as many raise funds from the
Chairperson public to help meet the cost of their charitable work.
Our first Statement of Strategy 2016 – 2018 was about getting established and resourced to deliver on
our mandate. The strategic objectives set out were achieved through the huge effort and commitment of
our staff and the very active support of our parent departments - the Department of Justice and Equality
(Oct 2014 – July 2017) and the Department of Rural and Community Development (DRCD) (since July
2017).
This Second Statement of Strategy focuses on embedding and developing on the achievements of the first
strategy. A pillar of the Charities Regulator’s mandate is to increase public trust and confidence in charities
through effective yet proportionate regulation. In fulfilling this role, we will work to support charity trustees
in complying with their legal obligations, and take steps to address non-compliance where necessary. In
addressing non-compliance, the 2019 – 2021 strategy is based on the introduction of a risk-based model
of regulation and a focus on ensuring compliance with standards of best practice in governance.
Over the next three years, we will build on the achievements of the first strategy and increase the
information available on registered charities to donors, beneficiaries and the general public. This work will
help to strengthen the accountability of the charity sector, and provide a valuable source of information for
charity funding bodies, donors and beneficiaries. We will also seek to improve the volume and quality of
guidance on good practice available to charities, with a particular focus on embedding the new Charities
Governance Code in all charities, large and small.
The next three years will see further organisational development of the Charities Regulator as we continue
our work to build an effective and efficient regulatory authority within the resources available to us.
While the Charities Regulator is an independent authority, staff are currently assigned from our parent
department – DRCD. During the lifetime of this strategy, it is proposed to move the authority to corporate
independence and directly employ staff with the required expertise to deliver on our mandate. To achieve
this objective, we will continue to actively engage with DRCD and the Department of Public Expenditure
and Reform (DPER).
The work that we do in no small way depends on the continuing active support and engagement of
stakeholders, especially from within the sector itself. We wish to thank our stakeholders for the support
they have given us over the last three years and look forward to the valued engagement of all our
stakeholders as we move into the period of our Second Statement of Strategy.
Patrick Hopkins
ChairpersonCharities Regulator Statement of Strategy 2019 – 2021 3
Interim Chief Executive’s Introduction
The functions and overall remit of the Charities Regulator are
set out in the Charities Act 2009 and the Charities Acts 1961
and 1973.
Over the last three years, the Charities Regulator has made significant progress
in creating an organisational structure that supports the delivery of our statutory
mandate. However, securing and retaining suitably qualified and experienced
Helen Martin regulatory staff remains a significant challenge for the Charities Regulator as we
Interim Chief move into the period of our second statement of strategy. Our overall strategic plan
Executive for the period 2019 – 2021 is dependent on successfully addressing this challenge
in a way that delivers a fully resourced, experienced and stable staff complement.
In the period of our first statement of strategy, with the support of an increased budget, we established
the Public Register of Charities, successfully launched our new IT Platform, introduced ‘Guidelines for
Charitable Organisations on Fundraising from the Public’, launched the Charities Governance Code and
published important research on the social and economic impact of charities in Ireland along with a
suite of guidance documents for charity trustees on a range of topics. We intend to work with all of our
stakeholders to build on this work over the next three years. We will do this by further developing our
organisation and our IT Platform in a manner that supports the delivery of proportionate and risk-based
regulation for the benefit of charities, funders, donors, beneficiaries, volunteers and the wider public.
Work remains to be done particularly in the area of transparency and accountability of charities to their
stakeholders. The use of abridged accounts by some charities, which provide limited insight into the
finances of their organisations, highlights this. We are conscious that full implementation of the statutory
provisions relating to the preparation of accounts by charities and their audit and independent review
will contribute significantly to achieving greater transparency and accountability. During the period of our
first statement of strategy, we made significant progress in advancing the legislative amendments and
draft regulations required to fully implement the provisions of the Charities Act 2009 relating to financial
statements and their review. Our ability to fully realise our strategic plan for the period 2019 – 2021
and associated yearly business plan targets, particularly those relating to the application of risk-based
regulation and deployment of our new IT Platform, will be reliant on the required legislation being enacted.
I am therefore hopeful that the Charities Regulator will continue to receive the support of all relevant
stakeholders in this regard.
As we move into the period of our next Statement of Strategy, it is important to acknowledge the hard work
and dedication of the staff of the Charities Regulator and everyone that has engaged so positively with us
over the last three years to support us in our development. Both I and the staff of the Charities Regulator,
look forward to working with all of our stakeholders and moving closer to the realisation of the Charities
Regulator’s vision for a vibrant, trusted charity sector that is valued for the public benefit that it provides.
Helen Martin
Interim Chief Executive4 Statement of Strategy 2019 – 2021 Charities Regulator
2 Contextual
Overview
Charitable organisations (“charities”) are a fundamental part of society
and provide substantial public benefit in a variety of ways.
Ireland has a diverse charity sector with almost 10,000 organisations registered as charities,
which include public service type organisations such as major hospitals, universities and
government services as well as smaller, localised and community-based organisations.
Charities receive support in many ways, including by way of volunteering, donations and State
funding. Charities must demonstrate how they advance charitable purposes and achieve public
benefit in an open and transparent manner, irrespective of their size.
In order for the charity sector to prosper and continue to contribute to the communities in which
they operate, it is essential that public trust and confidence exists. Levels of trust and confidence
in charities have been eroded in recent years, resulting in governance and fundraising practices
being placed under ever-increasing public scrutiny.
Since our establishment in 2014, the Charities Regulator has made significant progress in the
regulation of charities and the protection of charitable assets. We have a number of functions
under the Charities Act 2009, such as maintaining the Register of Charities, ensuring that
charities comply with their legal requirements, ensuring compliance with the Charities Act
2009 more generally, carrying out inquiries and investigations into the affairs of charities and
issuing guidance and other codes for charities and their charity trustees. We also deal with
applications by charities under the Charities Acts 1961 and 1973 including cy-près applications
and applications for authorisation to dispose of charity lands where such is not provided for in a
charity’s governing document.
Our first Statement of Strategy supported the establishment of the Charities Regulator and guided
us through our formative years. Over this period, a significant proportion of time was dedicated
to consolidating and developing the Public Register of Charities. In addition to establishing the
Register, the timeline in the graphic following provides an overview of other key milestones since
our formation.Charities Regulator Statement of Strategy 2019 – 2021 5
Timeline and overview of other key milestones since the Charities Regulatory
Authority’s establishment.
The Charities
Regulator is
established
2014
A Register
of Charities
is set up
Commencement
of Part 4 of the
Charities Act
2016 2009
First Statement
of Strategy
is published
First successful
prosecution
for breach of
Charities Act
Intermediate
sanctions imposed
on a charity for
the first time
First guidance
2017 documents for
charity trustees
published First inspectors’
report into affairs
of a charity is
published
Events run as
part of the
first national
charities trustees' week Transfer of functions
from Dept. of Justice
& Equality to Dept.
of Rural & Community
Development
Charities
Regulator’s
digital platform
launched Indecon research
report on the social and
economic impact of registered
Irish charities comissioned
and published
Further guidance
documents for
2018 charities published
Events run for newly
registered charities
and annual charities
trustees' week
The Charities
Governance
Code launched
Further inspectors'
reports into the
activities of two
charities published6 Statement of Strategy 2019 – 2021 Charities Regulator
The Charities Regulator’s main stakeholders
Public Bodies, State Funders,
Department of Rural and
Charity Representative Community Development, The Public, Charity Trustees,
Groups, Media and Revenue Commissioners, Beneficiaries, Funders,
Professional Bodies An Garda Síochána Donors, Staff and Volunteers
and other Regulators
In developing our Second Statement of Strategy, we consulted with stakeholders, engaged with our
international peers, and completed independent research and analysis. The above diagram includes
some of our main stakeholders and reflects their broad and diverse nature.
The strategic planning process highlighted a broad range of strategic options. As a regulator operating in
the context of limited resources, it was necessary to consider all options identified, and to prioritise on
the basis of delivering our statutory mandate in a balanced and proportionate way.
Our Second Statement of Strategy sets out an ambitious direction of travel for the next three years,
building on the significant progress made by the Charities Regulator in particular over the past three
years. It will see the evolution of our operations to achieve corporate independence and a move towards
a risk-based model of regulation that is proportionate and focuses on proactive identification and
prevention of harm where possible.
In doing so, our aim is to be recognised as a regulator that charities and the public have confidence in,
that acts fairly, proportionately and transparently. Notwithstanding our role as a regulator, our strategy
demonstrates our commitment to championing the success of charities and supporting a sustainable,
innovative and vibrant charitable sector.
Our people are key to the achievement of our strategy. Throughout the period of our first Statement of
Strategy we worked with limited resources. Open and transparent recruitment, training and retention of
suitably skilled people and teams is critical to the realisation of our mission and ultimately our vision.
We will therefore face considerable challenges in achieving our strategic priorities and objectives over
the period of our second statement of strategy if we do not have adequate resources and sufficient
independence in the area of recruitment and deployment.
Over the life of this plan, we will continue to review and improve the way we operate in order to ensure
we efficiently and effectively deliver on our statutory mandate.Charities Regulator Statement of Strategy 2019 – 2021 7
3 Vision, Mission and Values
Our vision, mission and values underpin our actions and interactions,
and guide the behaviours of our people and teams.
Our Vision
A vibrant, trusted charity sector that is
valued for the public benefit it provides
Our Mission
To regulate the charity sector in the public
interest so as to ensure compliance
with the law and support best practice
in the governance, management and
administration of charities8 Statement of Strategy 2019 – 2021 Charities Regulator
Our Values
INDEPENDENCE
We take decisions
independently and in
the public interest. We
stand over our actions
and decisions and take
responsibility for them.
PROPORTIONALITY FAIRNESS
We recognise the diversity
We operate fairly,
of size and capacity among
impartially and with
the organisations that we
integrity. We apply our
regulate. We regulate in a
procedures consistently
proportionate way and target
and give reasons for our
the resources available to us
actions and decisions.
at areas of greatest impact
and risk.
TRANSPARENCY ENGAGEMENT
We operate in an open and We communicate with and
transparent manner. Our listen to our stakeholders.
actions and decisions are We seek to anticipate and
informed by evidence. We address regulatory issues of
make relevant information concern to them. We adopt
available about how we a collaborative approach as
operate and about the sector much as possible.
we regulate.Charities Regulator Statement of Strategy 2019 – 2021 9
4 Strategic Priorities
and Objectives
The Charities Regulator has identified four strategic priorities outlined below:
STRATEGIC
PRIORITY 1 Strengthen Public Trust
and Confidence in Charities
STRATEGIC
PRIORITY 2 Provide Proportionate Risk-Based
Regulation and Protection
STRATEGIC
PRIORITY 3 Promote Compliance
and Enhance Engagement
STRATEGIC
PRIORITY 4 Enhance Operational Efficiency
and Service Delivery
The four strategic priorities outlined above have 16 associated objectives that will guide the activities of
the Charities Regulator over the period 2019 – 2021. The objectives outlined within this Statement of
Strategy will form the basis of our annual Business Plans, which detail the specific actions required to
achieve our vision in a balanced and proportionate way.10 Statement of Strategy 2019 – 2021 Charities Regulator
STRATEGIC
PRIORITY 1
Strengthen Public Trust and Confidence in Charities
The following objectives will support the achievement of this priority. We will:
1.1 Ensure that the Public Register of Charities provides reliable and up-to-date information
so that funders, donors, beneficiaries, volunteers and members of the public can inform
themselves on the activities and status of charities;
1.2 Identify and commission research into issues of relevance to the regulation of charities
to ensure that policies and regulatory activities are underpinned by data, expert
knowledge and experience;
1.3 Enhance accountability and promote good governance within charities in respect of
the control and management of their operations by underpinning the Charities Code of
Governance with appropriate training, monitoring and compliance activities;
1.4 Work with stakeholders to promote a greater understanding that charitable purposes
must confer a public benefit.
OUTCOME
The charity sector is regarded as well run and well-regulated
with appropriate checks and balances in place so that people
feel confident donating, providing and receiving services,
volunteering and working in it.Charities Regulator Statement of Strategy 2019 – 2021 11
STRATEGIC
PRIORITY 2
Provide Proportionate Risk-Based Regulation
and Protection
The following objectives will support the achievement of this priority. We will:
2.1 Regulate in a manner that accords with the Charities Regulator’s values and ensures
decision-making processes are robust and can withstand external scrutiny;
2.2 Implement a pro-active monitoring approach to ensure registered charities fulfil their
legal duties and take action to protect charitable assets where appropriate;
2.3 Develop a risk-based approach to regulation that utilises data and indicators to identify
and anticipate risks and targets available resources where risks are greatest to reduce
the level or likelihood of harm;
2.4 Utilise our regulatory powers proportionately and transparently to enquire into and
investigate matters in a timely manner and hold charities accountable.
OUTCOME
Based on a targeted assessment of significant risk using
available data, the charities sector will be strengthened
through the early identification of harm or potential harm,
and proactive intervention and engagement with charities.12 Statement of Strategy 2019 – 2021 Charities Regulator
STRATEGIC
PRIORITY 3
Promote Compliance and Enhance Engagement
The following objectives will support the achievement of this priority. We will:
3.1 Provide information, advice and guidance that provides charities with the knowledge
and tools necessary to fulfil their obligations;
3.2 Continue to work with the Revenue Commissioners, other regulators and stakeholders
for the purpose of avoiding unnecessary duplication of activities in respect of charities
and to facilitate greater levels of administrative cooperation in order to reduce the
administrative burden on charities, where possible;
3.3 Build awareness among charities of potential synergies that promote the effective use
of charity resources;
3.4 Engage with our stakeholders proactively and enhance our online presence to provide
more easily accessible and user-friendly services to all.
OUTCOME
There is sufficient information, understanding and
engagement amongst charities, donors, funders,
beneficiaries, volunteers and the public to facilitate higher
levels of voluntary compliance with regulatory obligations
and increased levels of proactive engagement by charities
with their stakeholders.Charities Regulator Statement of Strategy 2019 – 2021 13
STRATEGIC
PRIORITY 4
Enhance Operational Efficiency and Service Delivery
The following objectives will support the achievement of this priority. We will:
4.1 Work with the Department of Rural and Community Development to enhance our
internal governance structures and to enable the Charities Regulator to achieve
corporate independence over the life of this strategy;
4.2 Ensure the Charities Regulator is appropriately resourced with suitably qualified,
experienced and skilled staff;
4.3 Improve operational efficiency and deploy resources in line with regulatory priorities
to achieve maximum impact and enhance the overall level of service provided by the
Charities Regulator;
4.4 Develop a communications strategy that builds greater awareness of the Charities
Regulator and delivers targeted and consistent messaging about the organisation and
its activities.
OUTCOME
The Charities Regulator is a corporately independent
organisation with the knowledge, expertise and
organisational resources to effectively and efficiently deliver
on our statutory mandate, with the understanding and broad
support of our stakeholders.14 Statement of Strategy 2019 – 2021 Charities Regulator Appendix: Part 1 : Authority The Charities Regulatory Authority comprised the following ten members, as at December 2018. Patrick Hopkins (Chairperson) David Brady Katie Cadden Tom Costello Patricia Cronin Fergus Finlay Graham Richards Máire McMahon Niamh Cahill Ercus Stewart Part 2 : Performance and Resource Planning Committee The Statement of Strategy development process was supported by a sub-committee of the Charities Regulatory Authority, the Performance and Resource Planning Committee (PRPC). The PRPC comprised the following four members, as at December 2018. Patrick Hopkins Tom Costello Patricia Cronin Fergus Finlay
Notes
Notes
Document Reference No. to SE STR 5.1 000 Charities Regulator 3 George’s Dock IFSC Dublin 1 D01 X5X0 Telephone: 01 633 1500 www.charitiesregulator.ie © Charities Regulator 2019
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